SEC Form 4 · accession 0001209191-18-058557
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anders Swahn
Director
Period of report
Nov 12, 2018
Accepted (ET)
Nov 14, 2018 · 4:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316016
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 12, 2018 | M | 5,000 | $2.10 | A | 13,528 | D | |
| Common StockF1 | Nov 12, 2018 | D | 5,000 | $10.0001 | D | 8,528 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $2.10 | Nov 12, 2018 | M | 5,000 | D | Nov 12, 2018 | Dec 7, 2018 | Common Stock | 5,000 | 38,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price sold sold in multiple transactions. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- F2Shares subject to the option are fully vested and immediately exercisable.